DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••• • W••••
Legal name L• • W• F••••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Sep 28, 2023 · 14 filings
SEC status approved since Oct 27, 2023
RAUM
$207M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$25.9M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$207M as of Jul 13, 2026
Jan 18, 2024$120M then
HNW client RAUM$58.2M as of Jul 13, 2026
Jan 18, 2024$47.8M then
State-registered IARs (5.B.3)8 as of Jul 13, 2026
Jan 18, 20244 then
Employees (5.A)9 as of Jul 13, 2026
Jan 18, 20246 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 6 to 8offices 5 to 4
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $25.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $286,584derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$149M72%
- High-net-worth individuals$58.2M28%
- Individual clients
- 691reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 724reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••• S•••• | College Station, Tx | Dec 15, 2016 | 22 y | 1 |
| W•••••• J•••••• S••••• | College Station, Tx | Nov 22, 2022 | 13 y | 1 |
| K•••• T••••• D•••• | Dublin, Oh | Jul 24, 2023 | 15 y | 1 |
| S••••• I•••••• E••••• | Dublin, Oh | Jul 27, 2023 | 12 y | 1 |
| N••••••• S•••• S••••Certified Financial Planner | Dublin, Oh | Feb 6, 2024 | 11 y | 1 |
| E•••• J•• M•••• | College Station, Tx | Mar 18, 2024 | 23 y | 2 |
| N•••• O•••• A••• Q••••• | College Station, Tx | Sep 10, 2024 | 12 y | 0 |
| G•••••• S••• M••••• | College Station, Tx | Dec 17, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• J•• M•••• from C•••••• A•••••••Mar 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- N••••••• S•••• S•••• from J•• F•••••••• G•••• L••Feb 6, 2024 · RIA to RIA
- S••••• I•••••• E••••• from C•••••• A•••••••Jul 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- K•••• T••••• D•••• from C•••••• A•••••••Jul 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- W•••••• J•••••• S••••• from C•••••• A•••••••Nov 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- W••• S•••• from S••••••••• A•••••• A•••••••• I•••Dec 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• E••••••••• L••••••• · Membercontrolsince 03/2004 · owns 50% to 75%
- S••••• W••• · Managing Membercontrolsince 03/2004 · owns 50% to 75%
- Q•••••• N••••• O• · Ccosince 11/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| College Station, Tx · principal | 8 | 1 | 0 | ||
| Dublin, Oh | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dublin, OH2 employees
- Bryan, TX1 employees
- Conroe, TX1 employees
- San Antonio, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 681 to 724Jul 28, 2025 to Feb 23, 2026
- Advisory employees · 6 to 8Jul 28, 2025 to Feb 23, 2026
- HNW clients · 22 to 33Jul 28, 2025 to Feb 23, 2026
- Individual clients · 622 to 691Jul 28, 2025 to Feb 23, 2026
- Employees · 8 to 9Jul 28, 2025 to Feb 23, 2026
- State-registered IARs · 6 to 8Jul 28, 2025 to Feb 23, 2026
- Other offices · 5 to 4Jul 28, 2025 to Feb 23, 2026
- Discretionary RAUM · $153M to $201MJul 28, 2025 to Feb 23, 2026
- HNW RAUM · $67.7M to $58.2MJul 28, 2025 to Feb 23, 2026
- Individual RAUM · $90.9M to $149MJul 28, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $5.5M to $6.2MJul 28, 2025 to Feb 23, 2026
- RAUM · $159M to $207MJul 28, 2025 to Feb 23, 2026
- Financial planning clients · 1-10 to 1-10Feb 27, 2025 to Jul 28, 2025
- Accounts · 586 to 681Sep 4, 2024 to Feb 27, 2025
- HNW clients · 48 to 22Sep 4, 2024 to Feb 27, 2025
- Individual clients · 538 to 622Sep 4, 2024 to Feb 27, 2025
- Discretionary RAUM · $115M to $153MSep 4, 2024 to Feb 27, 2025
- HNW RAUM · $47.8M to $67.7MSep 4, 2024 to Feb 27, 2025
- Individual RAUM · $72.1M to $90.9MSep 4, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $4.7M to $5.5MSep 4, 2024 to Feb 27, 2025
- RAUM · $120M to $159MSep 4, 2024 to Feb 27, 2025
- HQ city · BRYAN to COLLEGE STATIONJun 17, 2024 to Sep 4, 2024
- Other offices · 6 to 5May 7, 2024 to Jun 17, 2024
- Other offices · 4 to 6Mar 1, 2024 to May 7, 2024
- Advisory employees · 4 to 6Jan 18, 2024 to Mar 1, 2024
- Employees · 6 to 8Jan 18, 2024 to Mar 1, 2024
- State-registered IARs · 4 to 6Jan 18, 2024 to Mar 1, 2024
- Other offices · 3 to 4Jan 18, 2024 to Mar 1, 2024
- Accounts · 1,587 to 586Oct 5, 2023 to Jan 18, 2024
- HNW clients · 56 to 48Oct 5, 2023 to Jan 18, 2024
- Individual clients · 489 to 538Oct 5, 2023 to Jan 18, 2024
- Discretionary RAUM · $104M to $115MOct 5, 2023 to Jan 18, 2024
- HNW RAUM · $45.6M to $47.8MOct 5, 2023 to Jan 18, 2024
- Individual RAUM · $62.3M to $72.1MOct 5, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $4.3M to $4.7MOct 5, 2023 to Jan 18, 2024
- RAUM · $108M to $120MOct 5, 2023 to Jan 18, 2024
Signals
1 dated events
- S•••• • W•••• filed its initial SEC registration (Form ADV)Sep 28, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 832-688-9674reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/smithwyatt/? viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- fw-mgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 979-431-5440reportedpublic record, Form ADV, Jul 13, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $25.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026